Policy Statement: 2007
ST PIUS X HIGH SCHOOL, ADAMSTOWN
Complaints Management
At St Pius X High School, Adamstown, complaints are managed in
accordance with the Complaints Management Policy of the Diocese of
Maitland-Newcastle, attached.
SERVICE  LEADERSHIP  JUSTICE
Policy Statement - Complaints Management
________________________________________________________________________________________________
DIOCESE OF MAITLAND -NEWCASTLE
CATHOLIC SCHOOLS OFFICE
841 HUNTER STREET  PO BOX 714, NEWCASTLE NSW 2300  PH (02) 4979 1200  FAX (02) 4979 1209
Policy Statement: September 2006
Complaints Management
Director’s Office
2
Sept 2006
DIOCESE OF MAITLAND-NEWCASTLE
POLICY STATEMENT
COMPLAINTS MANAGEMENT
1.
Rationale
Schools are valued as special places where staff, students and parents have a right to a safe and
supportive environment. From time to time, disagreements and conflict may arise which may result
in complaints and grievances being expressed. These may occur between teacher and teacher,
principal and teacher, teacher and student, student and student, teacher and parent and so on.
Often, the problem impacts on relationships and the building of a peaceful school community and a
harmonious working environment.
To create a safe and supportive environment within our schools and Catholic Schools Office it is
essential to develop practices characterised by procedural fairness, mutual trust, and respect
especially in the area of Complaints Management. A complaints management policy is a
requirement of the NSW Board of Studies as a mandatory component of the registration of nongovernment schools.
Clear, published processes based on the principles of respect for each individual, natural justice,
confidentiality, legitimacy of complainant’s feelings, support and protection for all those involved
and a non-judgmental, non-adversarial approach provide a professional context that creates
confidence in the outcome.
An effective complaints management system is an essential part of the provision of quality service
and the promotion of fairness and justice both within individual schools and across the broader
diocesan school community. In particular, a professional response to complaints, suggestions and
matters causing concern provides opportunities for improving service, promoting understanding,
agreement and preventing further problems.
2.
Aims
This policy aims to:
2.1
Clarify procedures for complaints management to ensure that all parties are assured of a
fair process and a just outcome.
2.2
Provide direction for schools to develop policies and procedures for the handling of
complaints and grievances with specific reference to processes for raising and responding
to suggestions and matters of concern identified by students, staff and/or parents.
Policy Statement - Complaints Management
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3.
Implementation
3.1
This policy operates in the context of Diocesan policies and departmental arrangements.
3.2
The following are excluded from having regard to this policy: staff appraisal; school
evaluation and development; child protection allegations and queries; critical incidents;
employment contracts; salaries and awards; worker’s compensation/return to work
programs and criminal matters.
3.3
The management of complaints is embedded in the fundamental value of ‘justice for all’ and
built upon a fully acknowledged and accepted understanding of the foundational principles
of inclusivity, procedural fairness, due diligence and restorative action (see Diagram 1,
page 3).
Director’s Office
4
Sept 2006
Policy Statement - Complaints Management
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COMPLAINTS MANAGEMENT
FOUNDATIONAL PRINCIPLES
DIAGRAM I
Justice for
all
procedural
fairness
inclusive
respectful
supportive
equitable
Director’s Office
impartial
consideration of all
relevant information
careful judgment
due
diligence
duty of care
prudent action
confidentiality (where
required)
5
restorative
relational
accountable
repairing of harm
Sept 2006
Policy Statement - Complaints Management
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3.4
For the general management of complaints, the following continuum is recommended:
 Handling at the point of initial receipt
 Referral of the complaint for handling by a more appropriate person within the school or
workplace
 Referral of the matter to an officer of the Catholic Schools Office and/or the Dispute
Resolution Service
 Referral of the matter to an agency external to the Catholic Schools Office
3.5
Diagram 2 (see page 4) describes a basic process that emphasises three components of
management - receipt, handling and referral. This process provides a basis for the
continuum of complaint management. It should be recognised that complaints and matters
causing concern may enter the continuum of management at any stage.
3.6
Whilst some issues may be simply and immediately dealt with without the need for a record
to be made, a written record of complaints of a significant nature should be kept by the
person responsible for its management. This record should be regarded as private and
confidential, be stored in a secure place, and be of a factual nature only. It should include
specific details of the receipt and handling/referral of the complaint and a brief summary of
the outcomes achieved. When making decisions concerning the bringing to a person’s
attention the existence and storage of a written record, the person handling the complaint
should consider the principles of procedural fairness. With full regard to, and dependent
upon privacy requirements, copies of the written record may be determined as being
appropriately available to (only) those persons directly involved in the matter upon their
request.
3.7
Appeal of the complaints management process and achieved outcome(s) should be made
available to all involved persons where requested. An appeal is established through
referral to a senior authority and should be conducted by a person not previously involved
in the matter. The appeals process will consider and make a finding on how the complaint
process has been conducted and its outcome(s).
Director’s Office
6
Sept 2006
Policy Statement - Complaints Management
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COMPLAINTS MANAGEMENT PROCESS
DIAGRAM II
A
rr
o
w
RECEIPT
CAN I deal
with this
complaint?
Handling
Es tablish factual bas is.
Use reflective listening, positive com m unication.
Cons ider needs , interests and rights of all involved.
Dem onstrate procedural fairnes s and transparency.
Maintain privacy and confidentiality.
Em ploy joint problem -s olving approach to resolution.
Provide appropriate feedback to all involved.
Written record kept.
HANDLING
HOW should it be
handled?
Yes
No
HANDLING
HOW should it be
handled?
REFERRAL
WHO can best
deal wtih
complaint?
RECEIPT
CAN I deal
with this
complaint?
Yes
No
REFERRAL
WHO can best
deal wtih
complaint?
REFERRAL OPTIONS - (CATHOLIC SCHOOLS OFFICE)
REFERRAL OPTIONS - (SCHOOL)
Executive Teacher, Principal, School Counsellor, T eaching &
Learning Facilitator, Pastoral Worker, CaRO (Harassment), OH&S
Officer/Committee, IEU Representative, P arish P riest
Director’s Office
Heads of CS O Units (Religious Education & S pirituality S ervices; Teaching
& Learning Services; Financial Services; Employee Services; Information
Communication & Learning Technology S erv ices), Dispute Resolution
Service, Diocesan Child P rotection & Professional Conduct Unit, Parent
Liaison & Resources Officer, OH&S /Return to Work Coordinator, Assistant
Directors
7
REFERRAL OPTIONS - EXTERNAL AUTHORITIES
including but not limited to:
Police, Solicitor, Human Rights & Equal
Opportunity Commission, Federal Privacy
Commission
Sept 2006
Policy Statement - Complaints Management
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3.8
Where a school chooses to develop its own complaints management policy, the following
essential features should be included:
 Established on the basis of the foundational principles set out in Diagram 1.
 Constructed according to the continuum of management underpinned by the three key
points of – receipt, handling and referral.
 Primacy given to timely response to a complaint.
 Emphasis on resolution at the lowest possible level of response.
 Based upon a joint problem-solving approach wherever possible.
 Written record kept of complaints of a significant nature.
 Characterised by transparency and procedural fairness.
 Confidentiality and privacy extended to all parties wherever possible.
 Feedback provided to all involved – for some significant matters, this feedback should
be in written form.
 Ongoing reflection to enable improvement in policy, procedures and processes and
quality of service.
3.9
Any person making a complaint or suggestion should not be subjected to any form of
reprisal, harassment or victimisation. The foundational principles upon which the
Complaints Management Policy is based requires that all complaints are openly received
and responded to without the complainant experiencing disadvantage. Where harassment
and victimisation is claimed, it is necessary for the complaints handler to facilitate an inquiry
into the claim. Where a claim is substantiated, the matter should be redressed as far as is
possible to the complainant’s satisfaction within the context of procedural fairness for all
parties and the limits imposed by legal and regulatory expectations.
3.10
Staff and members of the school community need to be familiar with a school’s policy and
established procedures for managing complaints and responding to suggestions and
matters of concern. This should include clear information as to which person(s) manage
particular complaints. Principals should include information about these procedures in a
school’s information handbook and in at least one school newsletter each year.
3.11
In support of the effective management of complaints and conflict the Catholic Schools
Office makes available to school communities a Dispute Resolution Service. This service
provides school communities, upon request, with a qualified arbitrator and mediator who is
able to provide assistance through the provision of advice, training and the conduct of
mediations, conciliations and restorative justice conferences.
3.12
The Catholic Schools Office will provide school communities with opportunities to nominate
persons to participate in complaints management training. This training will assist schools
to develop their own complaints management policies as well as essential skills for
handling complaints. The training will be supported at a Diocesan level through the
Professional Development Program and at an individual school level through the Dispute
Resolution Service.
4.
Budget
4.1
Each year an appropriate school budget is to be allocated for complaints management
reflecting this policy and the priorities of the diocese.
4.2
Diocesan and local budgets should support the appropriate training and professional
development of staff.
5.
Evaluation
This policy will be evaluated after three (3) years of its implementation or as the need arises. The
process will involve relevant members of the Catholic Schools Office and representatives from
diocesan schools and the parent community.
Director’s Office
8
Sept 2006
Glossary
Appeal
An impartial, determinative process available to all parties to a
complaint wherein an independent person reviews both the way in
which the complaint management process has been conducted and
the integrity of its outcome(s).
Complaint
An expression of dissatisfaction or concern with a school or the
Catholic Schools Office regarding policy, procedures and/or actions
and decisions made.
Complaints management
An established system of responding to and handling complaints and
suggestions regarding matters causing dissatisfaction or concern.
Conflict
The context of disagreement within which persons involved perceive
a threat to their needs, interests or concerns.
Confidentiality
Protection given to the non-disclosure of things said and one; an
ethical duty held by persons to ensure that matters are held to be
private and in confidence between themselves and others.
Dispute
A point of disagreement involving one or a number of issues; a
dispute may be limited to a particular setting or matter but is more
likely to arise within a broader context of conflict.
Dispute resolution
Formal and informal processes that are designed to provide mutually
beneficial outcomes to disagreement and conflict between persons.
Dispute resolution processes are typically consensual, involve
negotiation and include the third-party assisted processes of
restorative justice conferencing, mediation and conciliation.
Due diligence
The care taken by a reasonable person to ensure that others do not
suffer unnecessary harm or disadvantage; the obligation bestowed
upon a person to act responsibly, efficiently and prudently in the
carrying out of his or her duties.
Duty of care
A legal requirement that a person exercise a reasonable standard of
care toward others in order to protect them from unnecessary risk of
harm; professional duty of care exists at a level higher than that
placed upon a member of the general public.
Equitable
Justice dictated by even-handedness, reason, conscience and a
natural sense of what is fair to all; ‘fairness is not everyone getting
the same but everyone getting what he or she needs’.
Impartial
Responding to all persons equally, free of bias and with no
preconceived opinion; taking no personal advantage from espousing
either side of a disagreement or conflict.
Privacy
The extent to which a person can determine which personal
information is to be shared with whom and for what purpose; a legally
bestowed principle that ensures that certain information remains
protected from disclosure.
Problem-solving approach A way of negotiating through disagreement and conflict that
emphasises persons’ jointly held responsibilities to achieve resolution
through collaborative thought and action.
Procedural fairness
An obligation placed upon organisations and persons making
decisions affecting the rights and welfare of others to engage in
decision-making with due diligence, transparency and without bias.
Procedural fairness affords certain rights to persons including the
right to know of matters alleged, the right to respond and the right to
appeal decisions made.
Restorative
A way of approaching matters that have caused concern or harm that
places primacy upon accountability for actions, reparation of harm or
wrongs and community acceptance and reintegration.
SUPPORT DOCUMENTS
DIOCESE OF MAITLAND-NEWCASTLE
POLICY STATEMENT
COMPLAINTS MANAGEMENT
Support Document 1
Dispute Resolution Service
The Dispute Resolution Service is managed through the Employee Services Unit of the Catholic
Schools Office. The Service makes available to school communities and employees of the
Catholic Schools Office assistance in the management and resolution of complaints,
disagreements and conflict. This assistance may take a variety of forms but in particular, the
provision of professional development, advice and the assisted, consensual resolution processes
of restorative conferencing, mediation and conciliation. This assistance acts in concert with other
processes and arrangements in place in the diocese for handling suggestions, complaints and
matters causing concern.
Referral
The Dispute Resolution Service is managed by a qualified arbitrator and mediator who may be
freely contacted by all members of the diocesan school system. Referral can be made directly by
any person through contacting the Employee Services Unit either by telephone or by e-mail and
written correspondence.
Referral may be made at any time during the life of a complaint, disagreement or conflict. The
Catholic Schools Office, however, encourages persons to attempt to resolve matters between
themselves as early as possible and at the most immediate point.
Referral of a matter to the Dispute Resolution Service should be made where persons consider
that a neutral, third-party person is required to assist in resolving and/or managing an issue or set
of issues. Usually, but not always, this follows attempts at local (i.e. at the school or office level)
resolution.
Service Benchmarks
The Dispute Resolution service is guided by the following seven benchmarks:
Benchmark 1: Accessible
The service is made readily available to all members of diocesan school communities. This is
achieved by promoting knowledge of its existence, by having no cost barriers and by being easily
activated by all members.
Benchmark 2: Inclusive
The service strives to be inclusive at all times. The service is available without restriction to all
members of staff, parents and students.
Benchmark 3: Confidential
Dispute resolution processes extend confidentiality to all parties. An exception to this benchmark
occurs where all parties agree to public acknowledgement of both the processes and outcomes.
Further exceptions occur where matters give rise to or impact upon system operational concerns
and guidelines and where issues may potentially or actually contravene law. In these instances,
the person conducting the process will inform the parties of his/her obligation to bring such
information to the attention of the relevant authority.
Benchmark 4: Fair
Dispute resolution processes strive to produce outcomes which are held to be fair by observing the
principles of procedural fairness, by the neutral person observing rules of impartiality and, where
decisions are required, by making these on information brought forward and revealed.
Benchmark 5: Accountable
The Catholic Schools Office accepts its responsibility to support members of diocesan school
communities to build good working relationships and to achieve fair and just outcomes to
complaints and matters causing concern and conflict.
Benchmark 6: Efficient
The Catholic Schools Office provides processes and procedures that promote efficient prevention
and handling of complaints and matters causing concern and conflict. It seeks to make these
processes and procedures available in a timely and responsible manner.
Benchmark 7: Effective
The Dispute Resolution Service is judged to be effective by having appropriate and comprehensive
terms of reference and through periodic review and evaluation of performance as determined by
the Leadership Team of the Catholic Schools Office.
Dispute Resolution Procedures
The following dispute resolution procedures are made available to school community members by
the Catholic Schools Office. Advice will be provided to parties to a dispute as to which procedure
may be best suited to resolving a matter.
Problem-Solving Negotiation
Problem-solving negotiation provides a way to engage in a joint problem-solving process for
producing constructive outcomes to a disagreement or conflict. It does this by shifting
conversation from individual positions to placing attention on the joint construction of solutions
based on the underlying needs and interests of those involved.
A problem-solving approach to negotiation can be employed by persons in disagreement
themselves or with the assistance of a neutral third-party facilitator. The clear advantage of
assisted over unassisted negotiation is that the facilitator can help parties to stay focused on the
process and provide impartial reflection and advice throughout the conversation. In doing so, the
facilitator leads persons through a systematic discussion of the issues towards the efficient
achievement of mutually agreed outcomes.
Restorative Justice Conferencing
Restorative Justice conferencing is a procedure embedded in the wider milieu of restorative
practices that are of increasing use in schools across the world. Conferencing is perhaps of
greatest value where school communities have a commitment to restorative principles and where
these are reflected on a daily basis in the interactions between people. Conferencing
provides a controlled forum for dealing with wrongs and harm. It seeks to promote accountability
for actions taken. Similar to all restorative practices, conferencing encourages
positive relationships through the building of individual and collective responsibility and respect for
others.
A conference is managed by a trained facilitator and may involve a wide circle of participants. It is
preceded by a series of individual meetings and follows an ordered, scripted process. An action
plan, designed to repair difficulties and restore relationships, is developed and signed by all
participants. Although a particular person may be identified through the conference as holding
responsibility for overseeing the implementation of the action plan, final responsibility will normally
remain with the Principal of the school.
Mediation
Mediation is a formal process that provides persons with a controlled forum for establishing
workable solutions to disagreement and conflict. There are many forms of mediation but all follow
a basic structure wherein a mediator meets separately with persons prior to the mediation, works
systematically through presenting issues, assist participants to identify alternatives and facilitates
final agreement. Mediation focuses participants on solving the presenting difficulties themselves
under the guidance of the mediator.
The key principle of mediation is that participants work together to arrive at a valid agreement that
is of benefit to all concerned.
Mediation works best where participants enter the process voluntarily and where a commitment is
made to participate in good faith to achieve durable agreement and an ongoing relationship.
Mediators are bound by practice standards and a code of ethics. A mediator should display a high
degree of skill, empathy, commitment and confidentiality.
Conciliation
Conciliation shares many of the characteristics of mediation; however, it differs to the extent that a
conciliator may have an advisory role regarding the content of the dispute and/or the outcome of
the process. The conciliator is usually expert in the matter in dispute and, as a consequence, may
make recommendations regarding the terms of agreement and settlement. Regardless of this role,
the conciliator will maintain a focus on assisting participants to generate their own solution to the
dispute.
Within a school system, conciliation may take place regarding matters requiring specific knowledge
relevant to educational settings. These may include issues regarding curriculum, student
enrolment, student behaviour and welfare management, assessment and teaching practice, as well
as matters involving Commonwealth and state regulations relating to school function and funding
deployment.
Similar to mediators, conciliators are bound by practice standards and a code of ethics. A
conciliator should display an expert knowledge of the area in dispute, a high degree of skill,
empathy, commitment and confidentiality.
Contact Details
Dispute Resolution Service
Paul Sleishman
Catholic Schools Office
Diocese of Maitland-Newcastle
841 Hunter Street Newcastle West
PO Box 714 Newcastle NSW 2300
Telephone
Fax
(02) 4979 1200
(02) 4979 1208
Support Document 2
Complaints Management Training Overview
Session
Topic
Session 1



Duration: 90 minutes

Content
Scene setting
Policy
Principles
Process





Session 2
Duration: 120 minutes
Theory and concepts


Activity
Complaints: Types and characteristics
Introduction to the Complaints Management
Policy and the Dispute Resolution Service
Foundational Principles: Key aspects of
procedural fairness, due diligence and
restorative action
Complaints Management Process: Key
aspects of the management continuum and
the three steps of Receipt, Handling and
Referral
Managing difficult conversations (inclusive of
communication models and key
communication skills)
Joint Problem Solving Negotiation (inclusive
of principled negotiation and restorative
practice skills)
Conducting an inquiry (establishing factual
basis to a complaint and providing a
determination)
Four scenarios providing practice in:
Session 3
Duration 120 minutes


Scenarios
Plenary




Common school examples
Essential management principles
Essential communication skills
Review and summary



Directed discussion
Presentation
Case examples
Notes and handouts provided



Directed discussion
Presentation
Case examples
Notes and handouts provided



Directed discussion
Role plays
Debriefing
Notes and handouts provided